Search for: "LPL Financial, LLC"
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7 Jan 2020, 6:59 am
Prior to his time at Lifemark Securities in Peoria Illinois, Carver was registered with Cetera Advisors LLC, Brewer Financial Services, LLC (a firm that has since been expelled), LPL Financial Corporation, Robert W. [read post]
10 Oct 2014, 3:43 pm
Brokerage firms, like LPL Financial, have a responsibility to adequately supervise their employees. [read post]
28 May 2021, 1:40 pm
Thomas Rohan Woodstock Financial Group AXA Advisors, LLC John Schmidt Wells Fargo Advisors Financial Network, LLC Stifel, Nicholas, & Company Incorporated Christopher Wright LPL Financial LLC Private Advisor Group, LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
27 Sep 2022, 9:05 am
Michael Beebe (Michael Douglas Beebe, CRD# 2231851) is a former broker and investment advisor whose most recent employment was with LPL Financial LLC (CRD# 6413) of Webster, NY. [read post]
26 Mar 2012, 7:23 am
According to his plea agreement, Kravitz was an independent client investment representative with LPL Financial Corp., formerly Waterstone Financial Corp., and sold securities through those financial institutions. [read post]
8 Sep 2014, 6:23 am
Since then, he has been associated with several firms and from December 2010, to March 2013, Lewis was associated with LPL Financial LLC (LPL). [read post]
29 Jul 2014, 5:57 pm
FINRA also alleged that between October 31, 2001 and April 30, 2012, Bracey failed to timely notify Multi-Financial, and later LPL Financial LLC, of two separate outside business activities. [read post]
2 Sep 2022, 6:54 am
Additionally, in July 2018, Melilli was registered with LPL Financial LLC. [read post]
27 Dec 2023, 11:21 am
According to FINRA Disciplinary actions for November 2023, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Charles Connors LPL Financial LLC Transamerica Financial Advisors, Inc. [read post]
25 Apr 2019, 12:33 pm
Our attorneys have recovered millions of dollars from many brokerage firms in the past, including LPL Financial. [read post]
10 May 2023, 6:47 am
Patrick Thayer (Patrick Noel Thayer, CRD# 5735955) is a previously registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD# 6413) of Lebanon, OH. [read post]
27 Apr 2022, 12:56 pm
According to FINRA Disciplinary actions for March 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Joseph Likens LPL Financial LLC Cornerstone Wealth Management, LLC Guy Newman GVC Capital LLC Bathgate Capital Partners LLC John Santariello Arive Capital Markets… [read post]
24 Mar 2022, 8:51 am
., CRD# 5856503), 38, is a former registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Red Bank, NJ. [read post]
26 Oct 2018, 7:27 am
Morgan Securities LLC Bustamante Family Legacy LLC Daniel Flores Woodbury Financial Services, Inc Princor Financial Services Corporation Jose Giraldo Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Associates, Inc Joshua Krize Wells Fargo Clearing Services, LLC Country Capital Management Company Francine Lanaia Windsor Street Capital, LP Meyers Associates… [read post]
1 Aug 2017, 10:59 am
According to Investment News, they were registered with LPL Financial and affiliated with Federal Employee Benefits Counselors. [read post]
4 Sep 2018, 2:22 pm
From April 2003 to June 2013, Warner was registered with LPL Financial LLC. [read post]
6 Nov 2014, 3:03 pm
In addition to Securities America, LPL Financial Holdings and AIG Advisor Group have also suspended the sale of select REITs. [read post]
23 Aug 2021, 12:14 pm
David Volpe (David John Volpe CRD# 2543478) is a former registered broker who has previously worked for First Financial Equity Corporation, LPL Financial LLC, and National Planning Corporation, all in Scottsdale, Arizona. [read post]
3 Jan 2019, 5:54 am
Inc Flores, Daniel Woodbury Financial Services, Inc Princor Financial Services Corp Giraldo, Jose Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Assoc, Inc Heitz, Donald LPL Financial LLC First Command Financial Planning, Inc Jenkins, Elisabeth LPL Financial LLC ESL Investment Services, LLC Krize, Joshua… [read post]
14 Apr 2023, 9:24 am
Xnergy Financial LLC NPPEX, LLC Sevag Haddadian Wells Fargo Clearing Services, LLC Morgan Stanley Stefanie Hurkala Wells Fargo Clearing Services, LLC First Investors Corporation Pamelia Owensby UBS Financial Services Inc. [read post]
